Responsibilities

• Conduct and execute quality assurance controls AML monitoring and CIP review activities, including Client Onboarding, PR, Transaction Monitoring, Client Screening, STR Reviews etc
• Perform testing on transaction monitoring and CIP review activities in accordance with the regulatory requirements
• Assess the effectiveness of the compliance controls and relevant procedures, and to address the underlying risks and regulatory requirements 
• Work with responsible stakeholders to implement the remedial measures in an effective and sustainable manner to improve processes, remediate deficiencies and strengthen internal control measures
• Prepare and submit MI reports to Compliance Committee on a monthly basis relating to the QA review results and observations and escalate any issues arising from such monitoring
• Provide guidance / advice on AML/FCC controls areas in relation to new onboarding, periodic review, and transaction monitoring
• Maintain relationship with stakeholders to keep abreast of the business development and identify any impacts from the regulatory requirement perspective
• Prepare training materials and deliver AML/FCC training and share knowledge with team members

Requirements

• University degree in Accounting, Business, Law or related discipline 
• 12 years solid experience in AML, FCC, audit or related field in the private banking or with regulatory authorities
• Experience in performing compliance review and investigations.
• Sound working knowledge regulations
• Good command of written and spoken English and Chinese.
• Good leadership, communications skills and ability to work independently  

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, [email protected] charterhouse.com.hk Web: www.charterhouse.com.hk

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Charterhouse is a global executive recruitment consultancy.  We have offices throughout the world in Asia, Australia and the Middle East.  In Hong Kong we have five specialist divisions: Banking & Finance; Sales & Marketing; Commerce Accounting, IT&T & Legal.